About ROTH

ROTH is an investment banking firm dedicated to the small-cap public market. Since its inception in 1984, ROTH has been an innovator in this market. Headquartered in Newport Beach, CA, ROTH has regional offices in Boston, Chicago, Larkspur, Los Angeles, New York and San Diego as well as Hong Kong Limited international office.

ROTH is a privately owned firm that has built a culture of success and innovation. Our approach is driven by our current principals, who are not only the owners of the business but most of whom have been with us for more than 10 years. Our goal has always been to service the needs of small-cap public companies better than anyone else. To this end, ROTH's exclusive focus is to offer our clients a full spectrum of investment banking services, including capital raising, research coverage, trading and market making, merger and acquisition advisory services, and investor conferences.

Our award-winning research is the foundation of our firm and key to our understanding of the small-cap sector. This research, when combined with our seasoned institutional sales team and our highly visible investor conferences, creates an unparalleled institutional sponsorship platform for growth companies.

Our experience and capabilities in raising capital for public companies are the hallmarks of the Firm. ROTH has raised over $16 billion for small-cap public companies and completed over 170 merger, acquisition and advisory assignments. ROTH received top 20 IPO aftermarket performance rankings for six consecutive years from 1994 to 1999. Since 2000, ROTH has been a placement agent for numerous PIPE transactions, raising over $3.4 billion for our clients.

We are proud of our accomplishments to date, and look forward to continuing to help finance the innovation represented by the small-cap companies.